DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Sm Investors
Legal name S. Muoio & Co. LLC
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 25 filings
SEC status approved since May 5, 2011
RAUM
$95.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$95.1M as of Mar 27, 2026
Mar 29, 2012$115M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)2 as of Mar 27, 2026
Mar 28, 20133 then
Private funds4 as of Mar 27, 2026
Mar 29, 20125 then
RAUM +15% over the last fiscal year-8.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $13.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $83.6M, 6 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$83.6M88%
- Corporations and businesses$11.5M12%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $83.6M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.88 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Sm Merger/Arbitrage, L.P. | Hedge Fund | $34.8M | 35 | Mar 29, 2012 |
| Sm Investors II, L.P. | Hedge Fund | $29.5M | 19 | Mar 29, 2012 |
| Sm Investors, L.P. | Hedge Fund | $12.2M | 33 | Mar 29, 2012 |
| Sm Investors Broadcast Partners, L.P. | Private Equity Fund | $11.4M | 23 | Mar 30, 2015 |
| Sm Investors Offshore, Ltd.no longer reported | Hedge Fund | $3.1M | 5 | Mar 29, 2012 |
| Sm Broadcast Kqtv, L.P. | Private Equity Fund | $3.0M | 16 | Mar 28, 2022 |
| Sm Merger/Arbitrage Offshore, L.P.no longer reported | Hedge Fund | $448,089 | 2 | Mar 29, 2012 |
| Sm/Hl Acquisition L.P. | Private Equity Fund | $122,108 | 15 | Mar 28, 2022 |
| Sm Broadcast Partners Midamerica, L.P.no longer reported | Private Equity Fund | $20,998 | 20 | Jan 19, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Salvatore Muoio · Cio, Managing Member & Chief Compliance Officercontrolsince 04/1997 · owns 75% or more
Entity owners
- Associated Capital Group Inc. · Memberdirect · owns 10% to 25% · public reporting company
Related persons
Schedule D 7.A
- Gamco Asset Management Inc.investment advisernRAUM $12B
- George Hamiltonpooled vehicle sponsorn
- James Devaspooled vehicle sponsorn
- S. Muoio & Co. LLCpooled vehicle sponsory
- Salvatore Muoiopooled vehicle sponsory
- Sm Investors Broadcast Gp LLCpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $71.3M to $83.6MMar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $82.8M to $95.1MMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $71.3M to $83.6MMar 27, 2025 to Mar 27, 2026
- RAUM · $82.8M to $95.1MMar 27, 2025 to Mar 27, 2026
- Private funds · 6 to 4Jun 10, 2024 to Mar 27, 2025
- Accounts · 8 to 7Jun 10, 2024 to Mar 27, 2025
- Pooled vehicle clients · 8 to 6Jun 10, 2024 to Mar 27, 2025
- Assets in custody · $101M to $71.3MJun 10, 2024 to Mar 27, 2025
- Financial planning clients · unset to Jun 10, 2024 to Mar 27, 2025
- Discretionary RAUM · $101M to $82.8MJun 10, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $91.1M to $71.3MJun 10, 2024 to Mar 27, 2025
- RAUM · $101M to $82.8MJun 10, 2024 to Mar 27, 2025
- Accounts · 9 to 8May 3, 2023 to Mar 29, 2024
- Assets in custody · $111M to $101MMay 3, 2023 to Mar 29, 2024
- Employees · 3 to 2May 3, 2023 to Mar 29, 2024
- Discretionary RAUM · $125M to $101MMay 3, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $111M to $91.1MMay 3, 2023 to Mar 29, 2024
- RAUM · $125M to $101MMay 3, 2023 to Mar 29, 2024
- Related adviser · false to trueMay 3, 2023 to Mar 29, 2024
- Assets in custody · $111M to $111MMar 23, 2023 to May 3, 2023
- Discretionary RAUM · $123M to $125MMar 23, 2023 to May 3, 2023
- Pooled vehicle RAUM · $111M to $111MMar 23, 2023 to May 3, 2023
- RAUM · $123M to $125MMar 23, 2023 to May 3, 2023
- Accounts · 10 to 9Sep 16, 2022 to Mar 23, 2023
- Pooled vehicle clients · 9 to 8Sep 16, 2022 to Mar 23, 2023
- Assets in custody · $169M to $111MSep 16, 2022 to Mar 23, 2023
- Private funds · 7 to 6Sep 16, 2022 to Mar 23, 2023
- Discretionary RAUM · $189M to $123MSep 16, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $169M to $111MSep 16, 2022 to Mar 23, 2023
- RAUM · $189M to $123MSep 16, 2022 to Mar 23, 2023
- Accounts · 8 to 10May 13, 2021 to Mar 28, 2022
- Pooled vehicle clients · 7 to 9May 13, 2021 to Mar 28, 2022
- Assets in custody · $133M to $169MMay 13, 2021 to Mar 28, 2022
- Private funds · 5 to 7May 13, 2021 to Mar 28, 2022
- Discretionary RAUM · $154M to $189MMay 13, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $133M to $169MMay 13, 2021 to Mar 28, 2022
- RAUM · $154M to $189MMay 13, 2021 to Mar 28, 2022
- Assets in custody · $140M to $133MMar 24, 2021 to May 13, 2021
- Discretionary RAUM · $161M to $154MMar 24, 2021 to May 13, 2021
- Pooled vehicle RAUM · $140M to $133MMar 24, 2021 to May 13, 2021
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- Sm Investors · Independent Sponsorsshared crd · capital_provider
- SM Investors · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- SMINVESTORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-297-2555reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026